RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- L•• F•••••••• L•• BD affiliated currentsince Feb 4, 2022 · Denver, Co
- R••• F•••••••• I••• formerJul 2, 2019 to Feb 1, 2022 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 22, 2013 to Jul 1, 2019 · Denver, Co
- R••• F•••••••• I••• to L•• F•••••••• L••left Feb 1, 2022, registered Feb 4, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••• F•••••••• I•••left Jul 1, 2019, registered Jul 2, 2019 (1 days) · Wirehouse to independent RIA
- R••• P• M••••• left R••• F•••••••• I••• for L•• F•••••••• L•• (registered 2022-02-04)Feb 1, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address